Jim Richards joins Deloitte as a Senior Advisor As Michael Shepard of Deloitte posted to his LinkedIn page: “I’m so […]
Month: May 2018
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US v Rabobank NA, SD CA 18CR00614 – Does it pose questions every BSA Officer needs to ask?
On February 7, 2018, Rabobank NA pleaded guilty to a charge of conspiracy to defraud the United States and corruptly […]
FinCEN Director Ken Blanco testifies on the new CDD/Beneficial Ownership Rule
House Financial Services Committee – FinCEN Director Blanco Written Testimony 5-16-18 What is interesting is what Director Blanco did not […]
“The Courage To Change” Podcast has been published
https://www.jsbarefoot.com/podcasts/2018/5/14/the-courage-to-change-former-wells-fargo-bsa-officer-jim-richards Please take the time to listen to Jo Ann Barefoot’s podcast. The notes provide: THE COURAGE TO CHANGE: FORMER […]
Beneficial Ownership – a Centralized Registry is the Key!
Requiring financial institutions to collect the (one to five) names and PII of what may or may not be the […]
Jim Richards featured in two podcasts
Thomson Reuters Legal Executive Institute podcast on the beneficial ownership rule, with Holly Sais Phillippi, Partner Director in Governance, Risk & […]
Dress Appropriately – AML Policies, Procedures, and Policedures
https://work.qz.com/1242801/gms-dress-code-is-only-two-words/ “As chief executive at General Motors, Mary Barra practices what she preaches. Her management philosophy is epitomized by GM’s […]
SBA’s new Marijuana Business Policy – Is SBA-backed lending to the budding indirect marijuana industry up in smoke?
On April 3rd, the US Small Business Administration issued a benignly-titled policy notice that could have a profound impact on […]